Manager - High Net Worth Representative - Stock Plan Services Details

Manager - High Net Worth Representative - Stock Plan Services

Charles Schwab - Lone Tree, CO

Employment Type : Full-Time

Your Opportunity
Stock Plan Services (SPS) is a flexible, growing and highly specialized business unit within Workplace Financial Solutions (WFS) organization which works with corporations and their employees regarding their equity compensation plans. As a Manager – High Net Worth Representative of the Executive Services Trading Team you will work directly with the Executives and Directors on the Board of Directors of SPS Corporate Clients, their Financial Advisors and Financial Consultants, as well as, the Corporate Clients’ legal teams and Stock Plan Administration contacts. A qualified candidate must be able to effectively interact with high profile clients and safeguard material non-public and inside information. You will assist the clients in executing transactions on their equity compensation awards and prepare filing of the SEC Rule 144 Form and preparation for filing of SEC Form 4’s. You will also be required to partner with other groups to facilitate execution of large block trades. Please consider applying to this role if you want to start or continue your investment career and work in the securities industry.What you are good at


A successful SPS Executive Services Trading Manager – High Net Worth Representative will have:

  • 3-5 years of strong financial service skills
  • Excellent interpersonal and communication skills, highly detail oriented and strong time management skills.
  • Prior experience processing large trades and a high amount of trades daily while maintaining strict attention to details to mitigate risk
  • Ability to build relationships with clients and facilitate transactions
  • Ability to handle trade dispute and client escalation items
  • Demonstrate relevant experience on complex trading skills
  • Coordinate with supervisory delegates across complex functional areas
  • Ability to deliver training and coaching related to trading skills and high net worth client service
  • Capacity to educate clients on their individual equity award compensation plans (desired)
What you have

  • Series 7 and 63/66 securities licenses
    • You will have a condition of employment for passing the FINRA Series 7 & 63/66 licenses
  • Series 9/10 licenses
  • Brokerage and trading experience is required.
  • Basic knowledge of equity compensation desired.
  • 3-5 years of financial service experience.
  • Bachelor’s degree or equivalent related work experience.
  • Strong organizational skills with the ability to prioritize tasks.
  • Ability to relate, empathize and quickly build rapport with clients.
  • Effective listening and probing skills to identify cues, understand needs and provide relevant solutions to clients.
  • Strong team orientation.
  • Effectively respond to client concerns with limited supervision.
Colorado Compensation
Target Total Compensation – 58,700 – 98,400 Your actual pay will be based on your skills and experience - talk with your recruiter to learn more. Why work for us?

Own Your Tomorrow embodies everything we do! We are committed to helping our employees ignite their potential and achieve their dreams. Our employees get to play a central role in reinventing a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth.

Benefits: A competitive and flexible package designed to empower you for today and tomorrow. We offer a competitive and flexible package designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Schwab is committed to building a diverse and inclusive workplace where everyone feels valued. As an Equal Opportunity Employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law. Please click here to see the policy.

Schwab is an affirmative action employer, focused on advancing women, racial and ethnic minorities, veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at applicantaccessibility@schwab.com or call 800-275-1281.

TD Ameritrade, a subsidiary of Charles Schwab, is an Equal Opportunity Employer. At TD Ameritrade we believe People Matter. We value diversity and believe that it goes beyond all protected classes, thoughts, ideas, and perspectives.

Posted on : 3 years ago
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